{"url":"https://nivawealth.com/firms/three-peaks-capital-management-127402","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/127402","regulatoryAum":222869514,"crd":"127402","history":[{"filedOn":"2021-05-20","regulatoryAum":617942015,"clients":37,"employees":6,"offices":1},{"filedOn":"2022-03-28","regulatoryAum":233299754,"clients":39,"employees":6,"offices":1},{"filedOn":"2023-07-19","regulatoryAum":215455547,"clients":52,"employees":5,"offices":1},{"filedOn":"2024-03-13","regulatoryAum":229550445,"clients":63,"employees":5,"offices":1},{"filedOn":"2025-03-26","regulatoryAum":250704408,"clients":63,"employees":5,"offices":1},{"filedOn":"2026-03-31","regulatoryAum":222869514,"clients":72,"employees":5,"offices":1}],"secFileNumber":"801-62196","legalName":"Three Peaks Capital Management, LLC","displayName":"Three Peaks Capital Management","slug":"three-peaks-capital-management-127402","website":"https://threepeaks.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/127402/4d2590458f055101-r1.webp","tone":"light","width":472,"height":200,"sourceUrl":"https://www.threepeaks.com/","sourceLabel":"Three Peaks Capital Management, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Colorado limited liability company","fiscalYearEnd":"December","headquarters":{"street":"3750 Dacoro Lane, Suite 100","city":"Castle Rock","state":"CO","stateName":"Colorado","country":"United States","postalCode":"80109"},"tradeNames":[],"registration":{"secApproved":"3 July 2003","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2368864.066666667,"staff":{"employees":5,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":1},"aum":{"regulatory":222869514,"discretionary":222869514,"discretionaryAccounts":72,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":31,"regulatoryAum":7307850},{"label":"High-net-worth individuals","clients":29,"regulatoryAum":134823994},{"label":"Pension and profit-sharing plans","clients":6,"regulatoryAum":40736318},{"label":"Charitable organizations","clients":3,"fewerThan5":true,"regulatoryAum":7208290},{"label":"Corporations and other businesses","clients":3,"fewerThan5":true,"regulatoryAum":32793062}],"feePrograms":[{"role":"main","program":"Advisory fee","feeBasis":"ceiling","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1034699","versionId":1034699,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-31","documentName":"PART 2A BROCHURE - MARCH 2026","fee_rate_low":null,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T08:54:42.258628+00:00","documents":[{"name":"PART 2A BROCHURE - MARCH 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1034699","versionId":1034699,"submittedOn":"2026-03-31"}]},"custodians":[{"name":"Bok Financial","shortName":"Bok Financial","location":"Denver, CO","smaAssets":134011808},{"name":"First National Bank","shortName":"First National Bank","location":"Greeley, CO","smaAssets":25655800},{"name":"Central Pacific Bank","shortName":"Central Pacific Bank","location":"Honolulu, HI","smaAssets":22967071}],"custodyNote":"Three Peaks Capital Management has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Sandy Rufenacht","title":"Managing Member, Chief Executive Officer, Chief Investment Officer","crd":"1834195"},{"name":"Ashley McLaughlin","title":"Chief Compliance Officer","crd":"7295061"},{"name":"Andrew Bauman","title":"Chief Operations Officer","crd":"6030928"}],"ownership":[{"label":"Sandy Rufenacht","detail":"Managing member, chief executive officer, chief investment officer in the 75% or more ownership band and a control person, since June 2003."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"3750 Dacoro Lane, Suite 100","city":"Castle Rock","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"303-221-9480","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":4},{"label":"U.S. government/agency bonds","percent":20},{"label":"Investment grade corporate bonds","percent":40},{"label":"Non-investment grade corporate bonds","percent":34},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/127402/PDF/127402.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1034699","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Three Peaks Capital Management have?","answer":"Three Peaks Capital Management has 72 clients and manages $223 million for them, as of March 2026. They include 31 individual clients, 29 high-net-worth individuals, and 6 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Three Peaks Capital Management offer?","answer":"Three Peaks Capital Management provides portfolio management for individuals and small businesses and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Three Peaks Capital Management charge?","answer":"Three Peaks Capital Management charges up to 1.50% a year for its Advisory fee. The fee is billed in arrears and is negotiable.","source":"PART 2A BROCHURE - MARCH 2026, filed 31 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Three Peaks Capital Management use?","answer":"Three Peaks Capital Management’s separately managed account assets are held at Bok Financial (Denver, CO), with $134M, First National Bank (Greeley, CO), with $25.7M and Central Pacific Bank (Honolulu, HI), with $23M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Three Peaks Capital Management have?","answer":"Three Peaks Capital Management has 0 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Three Peaks Capital Management invest in?","answer":"At the end of its last fiscal year, Three Peaks Capital Management’s separately managed accounts held 40% investment grade corporate bonds, 34% high-yield corporate bonds, 20% U.S. government and agency bonds, 4% exchange-traded equities and 2% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Three Peaks Capital Management?","answer":"Three Peaks Capital Management’s direct owner is Sandy Rufenacht (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Three Peaks Capital Management get paid?","answer":"Three Peaks Capital Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Three Peaks Capital Management?","answer":"Three Peaks Capital Management’s main office is at 3750 Dacoro Lane, Suite 100, Castle Rock, CO 80109. Its phone number is 303-221-9480. Its website is threepeaks.com.","source":"Form ADV Part 1A, Item 1.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}